P2UK AID MATCH PROPOSAL FORM

SECTION 1: INFORMATION ABOUT THE APPLICANT1.1 Lead organisation name Scottish Catholic International Aid Fund (SCIAF)

1.2 Contact person Name: Robert AngovePosition: Programme ManagerEmail: rangove@sciaf.org.ukTel: 0141 354 5555

SECTION 2: BASIC INFORMATION ABOUT THE PROJECT2.1 Project title Enhancing resilience to climate change and increasing

income for pastoralist, agro-pastoralist and drop-out pastoralist communities in three drought-prone districts of Borana zone, Southern Ethiopia.

2.2 Country(ies) where project is to be implemented

Ethiopia

2.3 Locality(ies)/region(s) within country(ies)

Region: Oromiya Regional StateZone: BoranaDistricts: Moyale, Miyo, Dire (3)Peasant Associations (PA villages): Gofa, Dambi, Bokola, Mado, Bede, Gombisa, Dikicha, Chari Turua, Mana Soda, Hodod Samero, Dida Jarsa (11)

2.4 Duration of grant request (in months)

36 months

2.5 Project start date (month and year)

01/10/2016

2.6 Total project budget? In GBP sterling

£ 1,200,000

2.7 How much do you expect your appeal to raise ? What percentage is this of the total project/programme budget ?

i) £1,200,000

ii) 100 %

2.8 Please specify the % of project funds to be spent in each project country

Ethiopia 97%

SECTION 3: PROJECT DETAILS

3.1 ACRONYMSFor words which you would normally use acronyms for, please write these words in full the first time you use them, followed by the acronym in brackets, and use the acronym after that. Where you feel that it would be useful to provide an explanation of any acronym, please add these here.

Agency for Cooperation and Research in Development (ACORD). Community Initiative Facilitation and Assistance (CIFA). Concept Note (CN). Community-Managed Disaster Risk Reduction (CMDRR). Savings and Credit Cooperative (SACCO). Households (HH). CAFOD, SCIAF, Trócaire Working Together in Ethiopia (CST) on behalf of Scottish Catholic International Aid Fund (SCIAF). Government of Ethiopia (GoE), providing the policy framework for the project such as Growth and Transformation Plan (GTP) and Ethiopia’s Climate Resilient Green Economy (CRGE). The project will upscale Index-Based Livestock Insurance (IBLI) in collaboration with the International Livestock Research Institute (ILRI). Male-Headed Households (MHH) are responsible for the day-to-day management of their households. They are limitedly migrating and mostly one community member is sent out with all village cattle. Women-Led Households (WLH) include female-headed households (widows and divorced women) with children and households with a male head but led by women (e.g. women married to elder men who have become economically inactive, male migrated, male with multiple wives) meaning women are responsible for the day-to-day household management.

3.2 PROJECT SUMMARY: maximum 5 lines - Please provide a brief project summary including the overall change(s) that the initiative is intending to achieve and who will benefit. Please be clear and concise and avoid the use of jargon (This should relate to the outcome statement in the logframe).

The proposed project aims to enhance resilience to impacts of climate change of 25,800 poor female & 23,000 male pastoralists, agro-pastoralists and drop-out pastoralists in 3 districts of Borana zone, Southern Ethiopia. Changes will be achieved by protecting assets at community level through community management systems & rehabilitating the natural resource base, and at household level by increased and diversified incomes and access to livestock insurance against drought.

3.3 PROJECT RATIONALE (PROBLEM STATEMENT)Describe the context for the proposed project, by considering the following questions. What specific aspects of poverty is the project aiming to address? What are the causal factors leading to poverty and/or disadvantage? (If applicable) what gaps in service delivery have been identified and how has your proposal considered existing services or initiatives? Which specific groups/people do you expect to benefit? Why and how were these groups chosen? How does the proposal fit with national/regional development plans and with other efforts (eg. of governments, donors, the private sector) to address the development challenges which your proposal aims to address? How does it fit with activities of other development actors? Why has the particular project location(s) been selected and at this particular time?

Context: Ethiopia ranks 173 of 187 on the Human Development Index (UNDP 2014). Vulnerability to climate change is high, significantly affecting poverty and food security in rural areas. FEWSNET climate change analysis shows 15-20% decline in rainfall, concluding that rapid population growth, expansion of farming and pastoralism under a drier, warmer climate will dramatically increase number of at-risk people (FEWSNET 2012). Ethiopia suffers some of the lowest gender equality performance indicators in sub-Saharan Africa ranking 121 of 134 countries on the Global Gender Gap report (UN Women 2010). Current population stands at 94.1m population of which 10% (9m) are considered pastoralists (World Bank 2013, UNDP). In the project zone of Borana, 94% of the population (1M) are rural pastoralists (CSA 2007).The 2013 CST Livelihoods Programme baseline found that 75% of those sampled in the project zone experienced food shortages, only 14% had access to potable water, the main income was livestock sale or Cash For Work (CFW) & the main shock to livelihoods was drought. In the same study the main coping strategies to shocks were to reduce food intake and migration. The 2014 final evaluation of the EU-funded Drought Recovery and Resilience project had similar findings of 75% experiencing food shortages, with income mostly derived from livestock sales and spent on purchasing food. Aspects of poverty. The project aims to build resilience by protecting assets at a community and household level, to shocks such as climate-

induced drought which impacts on food security, water supply and income generation of poor pastoralists, agro-pastoralists and drop-out pastoralists in the project area. At community level the project aims to protect assets through enhanced community systems of drought preparedness whilst protecting and rehabilitating communal natural resources base such as rangelands & water supply, to enable communities to plan for and withstand shocks thus reducing the likelihood of depleted assets. At household level the project will protect pastoralist assets and livelihoods by supporting diversification of income sources to increase incomes, increasing access to livestock insurance against drought to protect existing assets and to promote HH-level water treatment, hygiene and sanitation for health. Causal factors. Pastoralism as a means of livelihood is challenged by climate change induced drought which contributes to natural resource degradation and has significantly depleted HH assets (livestock) & eroded traditional pastoral livelihoods, leading to food insecurity, poverty and resource conflict. Food insecurity hits women and children hardest as they seek water and struggle to provide balanced diets for their families. Since the 1980s Ethiopia has experienced a 15% decline in rainfall & a 0.37oC rise in temp per decade leading to 10 major droughts between 1980 and 2010 impacting on food security and poverty levels (Trócaire 2014). The livestock population in the region has been consistently depleted by drought, reporting a 60% loss in the most recent drought in 2011.1 Given the frequency of the drought shocks which have increased from 5–10 year cycles to 3–5 year cycles and the severity of impact, HH assets in the form of livestock have not been able to recover (Trócaire 2014). Overall livestock ownership which is central to pastoralist livelihoods has steadily declined from 7.5 to 3 TLU per capita, not enough to support a household (Holtland 2011).2 Livestock is not only a source of food (milk, blood, meat) but is also sold as a coping strategy in times of shock. As a result of declining livestock ownership, HH opt for agro-pastoralist livelihoods mixing livestock with crop cultivation to avoid selling their livestock and supplement their food sources and income. Others lose all their livestock and drop out of pastoralism completely, relying on labour or petty trade to survive. As a result of depleted assets, resource-related conflict over rangelands and water resources has increased. A 2015 report on Borana by CARE found that after drought, conflict over resources affected communities the most. Similarly a 2012 FAO report stated that conflict between different ethnic groups are a result of competition over resources, cattle raids and boundaries. Another causal factor of poverty is access to basic services. Despite recent progress, pastoral areas of Ethiopia have low levels of human development indicators such as health, education, water, sanitation and income. Borana zone has a higher than national average proportion of people living below the poverty line, varying from 37% to 60% and the literacy rate is only 39% (female 31%) (BoFED 2012).Water supply coverage in Borana ranges from 16 to 64 % (avg 54%); similarly access to sanitation is very low, ranging from 20 to 38% (avg 35%) and more than 60% of the population practises open defecation (GTMP, 2014). Pastoralists are thus not only marginalised geographically, but also socially, economically and politically. Specific groups. The project aims to support three main target groups, specifically focusing on women within these groups: (1) pastoralists dependent on livestock, migrating seasonally with a permanent base for the family unit through which support can be provided; (2) agro-pastoralists dependent on livestock, crops and other sources of income; (3) drop-out pastoralists with little or no livestock, dependent on alternative incomes. Pastoralism as a livelihood has changed significantly over the years due to change in land ownership, depletion of livestock and degradation of rangelands. Frequently more and more HH are setting up a permanent base where women stay with children and men migrate with livestock. Additionally, polygamous relationships are common in which one man could have multiple wives. Therefore the project will specifically focus on women who are the primary leads in their HH, to engage them in CMDRR, rangeland and water committees, WASH and income diversification programmes. The target groups were chosen due to their poverty status, vulnerability to climate-induced drought and fragility of their existing livelihoods. The project is aiming to diversify livelihoods in order to reduce dependency on degraded resources. Gaps in service delivery. A significant element of the project focuses on Index-Based Livestock Insurance, which enables beneficiaries to take out insurance premiums on their livestock. Presently

1https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/197474/Econ-Res-Ethiopia- Country-Report.pdf (accessed 11/11/2015)2 “The Role of Cooperatives, SACCOs and Traders in Value Chain Development in Borana Zone”, Gerrit Holtland, January 2011. Evaluation conducted for CST

there are no other suppliers of this type of insurance and it is supported by ILRI and learnings from similar interventions across the border in Kenya. The project will also focus on gaps in education, specifically illiteracy, through provision of basic adult education in literacy and numeracy to members of SACCOs by linking to local schools. National/regional/local development plans. Ethiopia sets its vision to achieve middle income status by 2025 through the Growth and Transformation Plan (GTP) and to protect the country against effects of climate change by developing a climate-resilient green economy through the UNDP and DFID-supported Climate Resilient Green Economy (CRGE) (UNDP 2011). The GTP and CRGE are interlinked. The project applies the principles of the GTP by encouraging small-scale business to develop the local economy and markets. [Response to DFID Feedback on CN: linking to CRGE]: The project aligns with the first pillar of CRGE “Improving crop and livestock production practices for higher food security and farmer income while reducing emissions” and will contribute to the prioritised initiative to “Manage rangeland to increase its carbon content and improve the productivity of the land” through the activities of rangeland rehabilitations (approx. 5002 Ha), CMDRR committees (11 villages) and water supply which will ultimately support economic growth, increase pastoralists’ income and limit emissions . Similarly the project impact aligns to the DFID Ethiopia Operational Plan (2011-2016) vision of “increasing resilience to changing weather patterns and leveraging the financial and low-carbon growth opportunities presented by climate change” and will contribute to DFID climate change programming and to the number of people that are better able to cope with climate shocks. At a national level the proposed project follows the pro-poor development agenda of the GoE by alignment with the Food Security Programme (FSP) which includes the Productive Safety Net Programme (PSNP4) and Household Asset Building Programmes (HABP) at local level and previously funded by DFID. The project impact aligns with the PSNP4 programme goal “Resilience to shocks and livelihoods enhanced and food security and nutrition improved for rural households vulnerable to food insecurity.” (GoE 2014) Specifically this project will contribute to “Output 3: Sustainable community assets built up and access to social services” enhanced through developing CMDRR committees and “Output 4: Clients’ livelihood opportunities facilitated through three pathways: crop and livestock, off-farm income generation, and employment through credit provision” via SACCOs. Finally it fits with the ONE WASH Programme by UNICEF and the GoE which promotes WASH in pastoral communities and the Regional Pastoral Drought Resilience Programme (GoE 2011) by building natural resources and CMDRR. Other development actors SCIAF and partners actively engage and collaborate with development actors through the EU-initiated Borana cluster meetings in Addis Ababa while partners engage in the Borana cluster meeting in Yabello. The cluster is led by GOAL and aims to ensure that projects are not duplicated and all sectors are covered. Also in Borana SCIAF is working complementarily to, and avoiding overlap with, the USAID-funded Pastoralist Areas Resilience Improvement through Market Expansion (PRIME) 5-year project (2012-17) led by Mercy Corps. At national level, SCIAF engages in the BINGO (British International NGOs network), HINGO (Humanitarian International National NGOs network) and CCRDA (Consortium of Christian Relief and Development Associations). These networks and clusters have been invaluable for coordination, information sharing and influencing e.g. the Rangeland Improvement and Rehabilitation Field Guide developed by CST and partners & published in Oct 2013 was shared with all development actors in the area. Similarly, in preparation for this proposal, in Oct 2015 SCIAF actively mapped all development actors in the area to ensure collaboration and coordination, visiting field offices in Borana to introduce SCIAF as part of CST. Currently the project target area remains on the UNOCHA 2015 district hotspot list as a priority 1 area (water shortage) demonstrating high levels of vulnerability. In addition, the GoE’s social assistance programme (PSNP) is supporting increasing numbers in this zone, with 1.4M benefiting (20% of the total people reached). The latest Human Requirements Document (HRD) and El Niño Impact report estimated 8.2M emergency beneficiaries for 2015/16 due to long-failed rains and El Niño in addition to those covered under the PSNP. Additionally the current El Niño effect is also predicted to bring sudden, heavy flooding with 9,830 people at risk in Borana3. There is urgent need to help protect natural resources and diversify income to enable them to withstand and recover from increasing shocks and stresses.

3 Joint Government – Humanitarian Partners National Flood Contingency Plan for the 2015 bega Season: Nov 2015

3.4 TARGET GROUP (DIRECT AND INDIRECT BENEFICIARIES)Who will be the DIRECT beneficiaries of your project, where direct means those benefiting at outcome level? Describe the direct beneficiary groups, and state how many people are expected to benefit, differentiating between male and female beneficiaries where possible, as well as other sub-groups. Also explain how you have calculated the beneficiary numbers.

DIRECT: a) Description of groups: Female and male pastoralists, agro-pastoralists and drop-out pastoralists.

b) Number of beneficiaries: Total: 48,800 people (Female: 25,800; Male: 23,000 = 8,778 households: 4,795 WLH and 3,983 MHH).

Who will be the indirect (wider) beneficiaries of your project intervention and how many will benefit? Please describe the type(s) of indirect beneficiaries and then provide a total number.

INDIRECT: a) Description Staff from government and other stakeholders

b) Number Total: 120 (Female: 34; Male: 86) other stakeholders

The project will work in 11 Peasant Associations (PA). PAs are the smallest units in the government administrative system, which can be called villages. Everyone in the 11 villages in three districts (Moyale, Miyo and Dire) will be the direct beneficiaries of the project. The methodology of the project (see 3.7) will ensure inclusiveness of all wealth categories, gender and vulnerable people. At the end of the project, all people will perceive an improvement of the community disaster management structures and concrete activities will underpin the changes at community level. Interventions at community level on natural resource management (rangeland and water) will enhance the access and utilisation of these communal resources and contribute to higher productivity levels and increased resilience. Direct beneficiaries at community level are linked to Outputs 1 & 2: (1) 11 villages (8,778HH: 3,732 pastoralists, 4,709 agro-pastoralists and 337 drop-out pastoralists; these include 4,795 WLH and 3,983 MHH) benefit from CMDRR strategies and livestock health initiatives; (2) 8,159HH & 11,000 livestock have access to safe protected water supply and rehabilitated rangelands.12 water structures rehabilitated, 9 constructed. 5,002ha rangeland rehabilitated. Output 3 & 4 will enhance and protect assets at individual level. Selection of beneficiaries will be based on poverty criteria developed by the community development committee, local government staff and the project. Ultimate selection of the beneficiaries for (3) will be confirmed in mass meetings during which community members can express any concerns on how criteria are interpreted. CST have developed a methodology for complaint handling, CIFA and ACORD have been trained on this and adapted it to their work and will ensure the mechanism is in place. (3) Increased incomes for 2,203HH (1,996 WLH 207 MHH) with 11,015 family members engaging in alternative Income Generating Activities (IGAs). Selection of beneficiaries for livestock insurance will be linked to the ownership of livestock, However subsidies on premium will be provided based on poverty status. (4) Enhanced protection from loss of livestock for 1,131HHs during drought through access to Index-Based Livestock Insurance

3.5 POTENTIAL PROJECT IMPACTPlease describe the anticipated impact of the project in terms of poverty reduction. What changes are anticipated for the beneficiary target groups identified in 3.4 (both direct and indirect beneficiaries) within the lifetime of the project?

Anticipated impact on poverty reduction Enhanced resilience to the impacts of climate change will result in reduced vulnerability, higher and more resilient income and economic growth and reduced numbers living below the poverty line for 4,795 women-led and 3,983 male-headed HHs in

Borana zone, Ethiopia. At impact level there will be a 2-month reduction in the number of months that HHs are dependent on external assistance and evidence that the development and adoption of local community-led disaster risk reduction strategies have increased resilience against shocks and hence sustainability of impact on poverty reduction for 75% of the beneficiaries. Anticipated changes for beneficiaries Changes for beneficiaries will include: (1) information on disasters which will give them, as a community, time to decide how to act and how to access (govt.) early intervention services. 11 villages will have effective EWS and CMDRR plans in place. This will support at least 50% of 4,795 WLH and 3,983 MHH to cope successfully with any major shock to their livelihoods due to climatic conditions. (2) Access to safe sustainable water supply for livestock and households, through an increased number of functional and well-maintained water points (21 reaching 7,609 HH), hygiene and sanitation campaigns and tulip filters (775 HH), Provision of water purifier (485 HH: 185 WLH; 300 MHH). All 4,795 WLH and 3,983 MHH will halve the time taken to collect water for livestock. Rehabilitation of 5002Ha of rangeland will increase levels of feed for livestock, supporting their health and survival. (3) Increased income from diversified sources will assist them to cope with shocks as 1,136HH will benefit from more than one income source and 2,000HH which will have profitable IGAs. Cooperatives will be stronger (110 members trained) and supporting this process. 754 poor women will have 5 goats each (4) Access to insurance that will assist them financially to protect their livestock assets with 1,131HH purchasing and 550 renewing insurance. Indirect beneficiaries will be impacted by all 4 outputs.

3.6 DESIGN PROCESSDescribe the process of preparing this project proposal. Who has been involved in the process and over what period of time? How have the intended beneficiaries and other stakeholders been involved in the design? What lessons have you drawn on (from your own and others’ past experience) in designing this project? Please describe the outcomes achieved and the specific lessons learned that have informed this proposal.

SCIAF, CST, ACORD, CIFA, local communities, govt stakeholders and development actors have been involved in the 3-stage design process for approx. 11 months since Jan 2015. SCIAF is the lead agency for this proposal. In Ethiopia SCIAF’s work aligns with sister agencies CAFOD and Trócaire through a single programme called CST (CAFOD SCIAF Trócaire) Working Together in Ethiopia using a partnership approach. The 3 agencies have been providing harmonised support to partners since 2009, increasing efficiency and effectiveness (VfM) through a shared office in Addis Ababa with 25 staff focusing on four thematic programmes: Livelihoods, HIV, Civil Society and Humanitarian. CIFA (CST partner since 2010) and ACORD (CST partner since 2011), the 2 implementing partners, are embedded within local communities in Moyale, Miyo and Dire districts since 2000 and 1994 respectively, and also have offices in the area. Stage 1 The design process began in January 2015. SCIAF through CST conducted a concept note development workshop in Addis Ababa with technical staff from ACORD and CIFA (8 staff: 6 women). The project was designed using technical best practices and outcomes from community assessments conducted by CIFA and ACORD which involved community leaders, key reference groups (women, youth, and vulnerable groups) and govt. stakeholders. Stage 2 SCIAF through CST developed a Borana Strategy in Oct 2015 for all CST programmes and partners to ensure that future projects and programmes align with govt. policy, collaborate with other development actors, do not overlap with existing projects and that CST has drawn on lessons from its own and others’ experiences, incorporating learning and beneficiary feedback from previous projects. This project has been informed by the strategy. The strategy development was participatory and involved 2 workshops with 5 partner organization’s HQs in Addis Ababa, 1 workshop in Yabello with partner field staff, 7 community consultations with beneficiaries, 8 govt stakeholders and development actors (Pastoral Development Department, CORDAID, CISP, HelpAge, Save the Children, Mercy Corps, GOAL). A review was completed of all CST projects including evaluations and studies, a policy analysis and mapping of all actors in Borana including govt. offices. The strategy assisted in defining CST interventions for the zone. Stage 3 In Nov 2015, SCIAF through CST held a 3-day workshop in Addis Ababa with CIFA and ACORD to finalise the proposal. At field level both partners had undertaken participatory assessments with community reps including women, elderly, youth,

disadvantaged groups, local govt, and traditional leaders. These groups were involved in consultations and assessments and are the primary source of information on hazards, vulnerabilities and local capacities. CIFA consulted with 60 beneficiaries (30% F) during PDRAs in 4 PAs. ACORD consulted CMDRR committees in 2 PAs and 275 people (110F, 165M) during meetings. Thus communities were fully involved in prioritisation and planning of the proposed project. Community-based assessment findings were cross-checked against secondary sources (govt. task force, district offices). Specific lessons that informed this project design through the 3-stage design process were the importance of working through the traditional Gadaa structure already present in the community that has traditional early warning indicators, water management systems, rangeland management systems and punishments specific to gender issues. It was also found that literacy is a significant issue in the area and SACCOs are much more successful when linked to educational elements.

3.7 PROJECT APPROACHPlease provide details on the project approach proposed to address the problem(s) you have defined in section 3.3. Why do you consider this approach to be the most effective way to achieve the project outcome? Please justify the timeframe and scope of your project of your project and ensure that the narrative relates to the logframe and budget.

SCIAF has its long-standing and high capacity CST office in Addis Ababa with a successful track record of managing institutional funding, providing technical support and achieving positive changes in vulnerable people’s lives. The central approach is implementing through partnership with local organisations to reach the people most in need, ensuring the programme is sensitive to the local context and building the capacity of local CSOs within the community. The specific approaches are detailed under each output. Output 1: Sustainable community management systems in place to implement Early Warning, Disaster Risk Reduction strategies. This output will focus on protecting community assets by increasing target communities’ preparedness through community management systems to address the problem of climate induced shocks (S3.3). A community centred approach of Community-Managed Disaster Risk Reduction (CMDRR) and EW Committees will be employed. The CMDRR approach is based on International Institute of Rural Reconstruction (IIRR) methodology and is considered most effective because it is community-led to ensure adoption, uses traditional gadaa structures and is supported by the govt EW structure which holds monthly meetings at woreda level to feed in EW data to zone and regional level. 7 existing CMDDR committees will be strengthened while 4 will be established. Note: EWC are part of CMDRR committees i.e. if there are 10 CMDRR members, 3 will also be EWC members. [Response to DFID Feedback on CN: ensuring gender equality in DRR/EW work]. The committees will represent different groups in the community and ensure inclusiveness of women, youth, elder and vulnerable people. Committee members will be elected by the community with a 30-40% quota of women, traditional gadaa structures will be consulted and incorporated. The committees will abide by the ‘Do no harm’ principle and will promote gender equality, empowerment of vulnerable groups and rebalancing of power mechanisms by facilitating enhanced and active participation at committee level. Similarly the basis of the CMDRR approach is to first undertake or update Participatory Disaster Risk Assessments (PDRA) with the aim of consulting as many stakeholders as possible, particularly those most vulnerable to disasters. Likewise the CMDRR committees will organise monthly community meetings where community members will have the opportunity to contribute and influence decision making. The PDRAs will be the basis for contingency and development plans developed by the committees. The plans will be monitored through collection of monthly data - such as food prices, water levels, livestock health (trad indicator) - by the CMDRR committee. They will also reflect the needs and interests of all groups, define criteria on environmental degradation e.g. rangelands and water resources, and guide decision making on emergency interventions depending on severity, such as preserving of water sources for emergencies only, or requesting govt. support. All plans will be developed alongside and shared with local government to align with existing policy. Ultimately this will increase people’s ability to manage disasters and plan a community-owned response. The zonal government EW system will be supported through monthly district meetings. After phase out of the project the local govt will continue supporting and accompanying the CMDRR committees. The project will support local government vet health services to meet the needs of the

communities by training Community Animal Health Workers (CAHW), providing a revolving fund for vet drug provision and supporting the government prophylactic vaccination programme. These capacity building measures will also strengthen the CAHWs to continue providing livestock health services to communities after phasing out of the project. Output 2: Access to water and rehabilitated rangelands This output will focus on protecting community assets to address the problem of rangeland degradation and access to basic services (S3.3) by rehabilitating the natural resource base through rangeland rehabilitation, Cash for Work (CfW) and Community-Led Sanitation and Hygiene (CLTSH) approaches. For rangeland rehabilitations, a rangeland committee will be formed to manage the process & traditional gadaa structures will be consulted. It is considered an effective approach because the rangeland will be rehabilitated by the communities themselves through selective bush clearing methods, enclosing the area and enrichment planting. Hand tools will be provided for rangeland management works, pond construction and rehabilitation. CfW will be linked to the government Productive Safety Net Programme (PSNP) to help poor HHs reduce food shortages, and prevent selling assets in food-lean periods. Payment arrangements will be agreed with the government depending on the difficulty of the work. CST has extensive experience of CfW and will coordinate the discussion between the development partners if necessary through the Borana cluster meetings. Access to safe water supply for human and livestock consumption will be provided by rehabilitating existing traditional water supplies (8 ponds, 3 cisterns, 1 ella). New water supplies (2 water ponds, 7 cisterns) & 3 water purifiers at 3 water points will be provided & 30 community leaders trained on usage. The project will complement a govt. pilot initiative by distributing locally-produced tulip water filters; 775HHs will receive filters, each serving 5HHs. 12 Water Supply and Sanitation Committees (WASHCos) will be trained to administer and manage water schemes. Committee members will define governing structures, community contribution, and rules on hygiene and sanitation (H&S), assuring livestock and human water points are separated & clean. The government promotes a CLTSH approach which triggers people to construct their own latrines at zero subsidy and abandon open defecation. The project will complement this approach by controlling the contamination route from water point to household, working with local government to review the most appropriate H&S techniques and arranging awareness raising campaigns. The project will train 150 community members on improved H&S practices. Best practices will be shared within and between communities. Output 3: Increased and diversified incomes This output will focus on protecting HH assets by increasing and diversifying incomes through a cooperative approach, to address the problem of climate-induced shocks (S3.3). It is considered effective to achieve the outcome because cooperatives will be based on learnings of recent market and value chain analysis conducted by SCIAF (Holtland 2011) and partners to identify potential economic opportunities, constraints, likely sustainability and impact on target HHs in project districts. SCIAF via CST has learned a lot on IGAs in Borana through its TRADE project (funded by Comic Relief) and this learning underpins the proposed activities. Alternative livelihoods will be carefully chosen on the basis of market viability, preference and suitability to beneficiaries. The project will support activities such as petty trade, aloe vera soap production, veg production through drip irrigation, and goat rearing. 3 community groups will be established to engage in selected value chain development and 2 multi-purpose cooperatives will be strengthened to start up their economic activities. Business Development Skills (BDS) training will be integrated to support efficient and effective management of the IGA, including finance: cost recording and profit making marketing, customary care, coop leadership, etc for all beneficiaries of IGA support. 5 Savings and Credit Co-ops (SACCOs) (1,334 members, 1,152F) will be strengthened (2)/established (3), trained on organisational & financial management, leadership and BDS & given seed capital. Adult Basic Education (ABE) training to improve literacy and numeracy skills of female members of SACCOs will be organised. 1 SACCO union will be established at zonal level to ensure sustainability of seed capital for existing/new SACCOs. All activities related to the community groups and the SACCOs will be accompanied by the government cooperative promotion office. Relevant government staff will be included in trainings and continue the accompaniment after phasing out. Output 4: Protection from loss of livestock during droughts via index-based livestock insurance (IBLI) schemes. This output will focus on protecting HH assets through protecting existing livelihoods by increasing access to insurance of livestock against drought to address the problem of climate induced shocks

(S3.3). The project will scale up the IBLI approach which has been piloted during the past two years in Southern Ethiopia by CST in collaboration with ILRI. IBLI is a strategy for enabling pastoral HHs to save their livestock assets during drought by making indemnity payments for additional feed for livestock before drought occurs based on the normalized difference vegetation index. The project will support 1,131 HHs to secure insurance (35% subsidy). At project phase-out IBLI will have demonstrated its value to pastoralist and agro-pastoralist HHs to protect them from depleting their assets. Timeframe and scope: Project duration is 36 months starting in October 2016. Many start-up activities will begin in advance to ensure effective implementation including government approval, hiring of staff, community consultations and developing purchase plans. The timeframe will ensure committees such as CMDRR, SACCO and IBLI have been built up sufficiently & integrated with govt structures to be self-sustaining and resilient to climate change.

3.8 SUSTAINABILITY AND SCALING-UPHow will you ensure that the benefits of the project are sustained? How will costs of any posts or maintenance of infrastructure provided by the project be paid for after project funding finishes ? Please provide details of any ways in which you see this initiative leading to other funding or being scaled up through work done by others in the future.

SCIAF’s partnership approach implemented through CST promotes ownership of the project by local civil society organisations and target communities. Furthermore local knowledge, research and skills drive the context-specific solutions at the core of the project design. The sustainability of the project activities are dealt with under each of the Outputs. Output 1: Sustainable community management systems in place to implement Early Warning, Disaster Risk Reduction strategies Under this output CMDRR committees which include an EWS will be set up. The committees are elected by the community themselves and supported by government-sponsored technical experts and Development Assistants (DAs) who assist in the data collection. The CMDRR committees are supported by the government Early Warning Committees which hold monthly meetings at woreda level. Therefore for sustainability there is little cost associated with the CMDRR committees as they are supported by existing government structures and can request government assistance from the EWC at woreda level. Capacity support for the government’s vet health service components will support sustainability of these services beyond the project timeframe. Output 2: Access to water and rehabilitated rangelands Under this output rangeland will be rehabilitated by the communities themselves, under a rangeland management committee formed by the community. The rehabilitation will be linked with CfW relief schemes under the government’s PSNP. To manage the water infrastructure created the community will establish Water Supply and Sanitation Committees (WASHCOs). In Borana zone, when site selection is known, the local village (kebele) leaders will take responsibility for collecting in-kind contributions before starting the construction of the scheme. Once completed, the WASHCO will take over responsibility for scheme management and collect water fees from users based on tariff rates to be agreed with them. The fee collected is primarily to cover costs of operation and maintenance and other administration costs related to running the cisterns and ella (traditional well). A committee is established for water ponds and maintenance will be done by in-kind contribution (labour). For sanitation and hygiene, the project will align with the Ministry of Health CLTSH approach, as an instrument to achieve the objectives of the government’s Universal Access Plan. Though improvements were observed in a number of HHs using latrines in highland Ethiopia, similar results were not achieved in pastoralist areas. This was mainly due to blanket approaches being followed and failure to adapt the CLTSH to make it appropriate for communities in pastoral areas. Therefore the project will focus on H&S at household level and focus on the contamination route (from water source to consumption). Learning from the project could be scaled up in a next phase as well as in adjacent areas. Output 3: Increased and diversified incomes The multi-purpose cooperative in this output will be supported by Milki Union (product cooperative union established and strengthened during previous EU-funded projects (from 2009 onwards) and TRADE project) to provide access to markets, loans, training and inputs while a SACCO Union will be newly set up to support the SACCOs after the end of the project to enable them to gain access to credit. Likewise the Adult Basic Education for the cooperatives is linked to teachers from local schools ensuring that for a small fee paid by the cooperative the ABE can

continue after the project has finished. Finally the cooperatives are supported by the government’s Cooperative Promotion Office in Yabello. Output 4: Protection from loss of livestock during droughts via index-based livestock insurance (IBLI) schemes Under this output the project will subsidise insurance premiums by 35% for project beneficiaries in order for the participants to gain understanding and confidence in the system. However by the end of the project the participants will be able to purchase premiums themselves through Village Insurance Promoters (VIP) enabling the scheme to be self-sustaining. The target at the end of the project will focus on the number of HH renewing their membership of IBLI.

3.9 SCALING YOUR PROJECT UP OR DOWNHow will you expand or reduce the scope of the project if your appeal income is different from what you have estimated it will be?

As mentioned in 3.6 the project has been designed using a participatory approach with our partner organisations who are in close contact with the communities. Decisions on expanding or reducing the scope of the project will be done in close consultation with both partners and communities. Based on the final appeal income, the following options will be considered to scale up or down: Output 1: increase or reduce the number of PAs to work complementarily on CMDRR, water, rangeland, income generating activities and IBLI. This would be considered where the estimated income changes significantly (more than 20%). Output 2: the need for water and improved rangeland is huge in the target areas. The output aims to construct/rehabilitate 21 water structures and rehabilitate 5002 Ha of rangeland. Under this output HH water supply will be prioritised and the rangeland rehabilitation coverage may be increased/decreased based on the appeal income. Output 3 will address 1,996 WLH and 207 MHH with economic activities to diversify their livelihoods. Additional income would contribute to supporting additional numbers in SACCOs with additional seed capital and strengthening capacities through additional trainings. Reduction of appeal money would reduce the number of women receiving goats for asset building. Output 4: This output aims to enable 1,131 HH to access livestock insurance through a subsidy on the premium. The amount of HH would be increased/decreased according to the appeal income.

SECTION 4: PROJECT RISKS AND MITIGATION4.1 How does your organisation approach the identification and management of risks associated

with the delivery of a project? What systems and processes do you have in place?Please also include with your application a separate risk register/matrix showing the risks associated with your proposed project and how you will mitigate them, for which you should use your own format.

The following table summarises the major risks that could affect project outcome and mitigation measures to prevent or minimize the level of impact. See also Risk Matrix as Annex

Description Probability

Monitoring and mitigation measures

The on-going impact of El Niño might make it impossible to implement development projects in Ethiopia in 2016.

Medium Response to DFID Feedback on CN: impact of drought on water infrastructure: The El Niño effect, including drought and flooding in the project area, will be monitored for effects on the resources, proposed water supply infrastructure and communities in the project. The project focuses on the mitigation of extreme climate shocks by protecting community and individual assets. At community level CMDRR committees will be established and mitigation plans will be put in place. There is an ongoing SCIAF (CST) humanitarian programme at country level which works closely with the livelihoods programme.

Political instability might Low Close collaboration and continuous discussions with woreda

create conflict between ethnic groups.

and village level administration bodies to be informed on potential sources of conflict. To mitigate the risk of conflict CST will continue working together with Oromiya Pastoral Association (OPA) who have the mandate, experience and funding to work in this area.

Man-made and natural disasters might disrupt markets, reduce availability of inputs, and make prices unstable.

High Technical support to partners to develop an up-to-date procurement plan, make timely procurements and develop linkages with traders.Close monitoring of market information and adjusting project components if required. This would largely be a timing issue.

GoE may amend the NGO law which may complicate the INGO way of working.

Low The country programme links with national-level stakeholders - networks, other INGOs, embassies and government bodies - to monitor potential changes and build good working relationships.

4.2 ENVIRONMENT AND CLIMATE CHANGEWhat are the opportunities and the risks of the project in relation to environmental sustainability and climate change? Please specify what overall impact (positive, neutral or negative) the project is likely to have on the environment and climate change. Where relevant, please also specify what impact the environment and climate change are likely to have on the project. In each case, what steps have you taken to assess any potential impact?  Please note the severity of the impacts and how the project will mitigate any potentially negative impacts, as well as how it will make use of opportunities to increase the positive impacts.

The overall impact of this project on the environment and climate change is likely to be positive. The significant risk to the project is severe drought and flooding due to El Nino which could impact on livestock, rangelands, food security & water supply including water infrastructure (UNOCHA 2015) Opportunities and risks in relation to drought have been detailed under each output below: Output 1: the project will deliver improved early warning and disaster risk reduction systems all managed by communities themselves and linked to the government Early Warning Systems. This will ensure that communities have the opportunity to access information they require to anticipate risks to their communities, implement mitigation measures such as water conservation of key water points, and request assistance from government departments as required. Under Output 2, the project will deliver water points and rehabilitated rangelands. This will ensure that communities have increased opportunity to access safe water for livestock and households; likewise the rangelands will be more robust to mitigate the risk of drought. However the impact on Output 2 is likely to be high, therefore mitigation measures will include CMDRR committees restricting access to certain water points to preserve water, and notifying the govt in advance of shortages to activate early response. Under Output 3, the project will deliver diversified income opportunities to ensure that communities have increased opportunity to have alternative incomes that are not affected by the risk of drought. Under Output 4, the project will deliver Index-Based Livestock Insurance to ensure that communities have the opportunity to take out a premium to protect their livestock against the risk of drought. If drought occurs they will receive a pay-out that they can use to purchase fodder for their animals.

SECTION 5: MONITORING, EVALUATION, LESSON LEARNINGThis section should clearly relate to the project logframe and the relevant sections of the budget.

5.1 How will the performance of the project be monitored? Who will be involved? What tools and approaches are you intending to use? What training is required for partners to monitor and evaluate the project?

Performance of the project will be managed and monitored against the logical framework, budget, and the project Monitoring Evaluating and Learning (MEL) plan. Overall performance will be reviewed on a six-monthly basis by the Project Governance Committee made up of the Directors and Programme staff from ACORD, CIFA and CST. This committee will receive six-monthly reports from the Programme Manager outlining achievements against outputs and outcomes, and financial performance of the project. Baseline data will be collected in the first two quarters of the project (October 2016 to March 2017) and reflected in the first annual report. A number of longitudinal case studies will be identified in the same period, and tracked throughout the project to capture change and impact data. Light reviews of the project will be carried out by the Governance Committee at the end of March 2017 and this will inform the annual report and any revisions to the logframe. A Mid-Term Review, informed by consultations with beneficiaries and stakeholders, will be carried out in March 2018, and will inform the second annual report to be submitted to DFID in April 2018 in which any proposed changes to the project will be reflected. In the last quarter of the project there will be an External Evaluation, and two learning documents will be finalised. The evaluation will use a participatory approach, providing strong opportunities for beneficiaries and stakeholders to input, as well as drawing on data collection against project objectives and indicators. The longitudinal case study households will provide information on change over time. The project will use data at a woreda-level on a six-monthly basis from the Ethiopian Government’s Humanitarian Requirements Report and PSPN4 reports to provide a comparison group for the project’s target beneficiaries. Day-to-day implementation of the project will be carried out by CIFA and ACORD, and they will prepare quarterly reports against work plan and budget. These will be reviewed by the CST Programme Officer during quarterly project monitoring visits and quarterly review meetings in the field. The CST Livelihoods Programme Coordinator and Programme Manager will review the quarterly reports and Programme Officer visit reports to provide an additional check. They will visit the partners’ projects on an annual basis to validate reports and provide an additional view on progress. On a six-monthly basis a combined report will be prepared for the Project Governance Steering Committee. Annual reporting to DFID will be coordinated by the CST Institutional Funding Coordinator and SCIAF’s Programme Officer. A range of tools will be used to collect and analyse data against the indicators set out in the logical framework. These include quantitative indicators and qualitative indicators. Surveys of targeted beneficiaries will be carried out on an annual basis, and will be supplemented by use of focus group discussions and key informant interviews, as well as information from the longitudinal case studies. Through these methods we would aim to capture both data against identified indicators as well as information on changes within beneficiaries’ lives that may or may not have been anticipated. Both partners have been trained and equipped to collect data using digital data capture methods and these will be used in the project. The project logframe has been developed in the context of the CST Livelihoods Programme 2013 – 2018, which has identified indicators and baseline data. In addition, CST has carried out a number of needs assessments and evaluations in the region and these have informed the development of the logframe. CST implements an accountability and complaints system, and beneficiaries and stakeholders in the project will be able to use this system to provide feedback on the project, as well as through the reviews and external evaluation. Reporting on this system will be integrated into the MEL framework. Training and capacity building needs of CST and partners will be identified during the first year of the project, based on experience of implementation. Within the livelihoods programme, capacity building for all partners is organised based on the needs and the findings from the livelihoods team. For the year starting April 2016 the following trainings are planned: refresher on results-based management, MEL, gender mainstreaming and child protection.

5.2 Please use this section to explain the budget allocated to M&E. Please ensure there is provision for baseline and on-going data collection and an end of project review. If you think there is a case for undertaking an independent mid term review of the project, or a final independent evaluation (eg. if the project is testing a new approach, or working in a particularly difficult or sensitive context, or is high value), please include costs for this in your budget.

The budget allocated to M&E and learning is 12% of the total budget. This includes a baseline survey, mid-term review, final evaluation and an external evaluation by the GoE. The evaluations are deemed necessary in order to collect data to measure progress on annual milestones and final targets. A representative number of interviews and questionnaires will be collected to enable decision-making at project management level. The M&E budget includes annual audits and a regional launching workshop at the start of the project during which project aims, outcomes and outputs are shared with all stakeholders and dialogues will ensure that both communities and government take ownership. Cost-effectiveness of the M&E methodologies is ensured by different organisations working together. The logframe will guide the monitoring while harmonised tools will be used to gather the data. In addition, transparency on project interventions will be guaranteed by clear communication on the different activities happening at community, district and regional level.

5.3 Please explain how the learning from this project will be incorporated into your organisation and disseminated, and to whom this information will be targeted (e.g. project stakeholders and others outside of the project). If you have specific ideas for key learning questions to be answered through the implementation of this project, please state them here.

In Ethiopia SCIAF’s work aligns with sister agencies CAFOD and Trócaire through a single programme called CST (CAFOD SCIAF Trócaire) Working Together in Ethiopia using a partnership approach. The 3 agencies provide harmonised support to partners, increasing economy, efficiency and effectiveness. As a result, as well as having significant opportunities to share learning and improve practices within a network of partners and stakeholders in Ethiopia, the programme is also part of wider organisational and institutional networks that spread learning more widely. The project has an explicit learning agenda, focused on two key themes: (1) Rangeland rehabilitation; (2) Index-based livestock insurance (IBLI). The project will take part in learning on CMDRR but there is already significant research being carried out in this field, and while the project will learn from and contribute to this, focusing on rangeland rehabilitation and index-based livestock insurance will allow the project to contribute to learning in areas that are receiving considerably less attention. Learning on rangeland rehabilitation will build on the successful ‘Rangeland Improvement and Rehabilitation Field Guide’ published in Oct 2013 which was distributed to stakeholders in Borana. The guide will be reviewed to determine which techniques are most effective and replicable within communities, new research that can be incorporated into the guide and to what extent poor and women-led households are able to benefit from rehabilitated rangelands. The result will be more evidence-based, pro-poor, gender equitable rangeland rehabilitation, and a second edition of the guide appropriate for community use. Learning on IBLI will focus on how well it meets the needs of poor and women-led households, and the extent to which it promotes their resilience. This learning will be undertaken in association with ILRI – which will also provide support to the IBLI part of the project. In addition, the final evaluation of the project will inform future programming on the effectiveness of this package of activities in promoting resilience amongst male and female-led pastoralist, agro-pastoralist and drop-out pastoralist families. Learning on both themes will be disseminated within Ethiopia and internationally. Two reports will be published towards the end of the project documenting the learning on rangeland rehabilitation and IBLI. Within Ethiopia SCIAF/CST holds an annual partners’ meeting which brings together 14 local NGOs working on livelihoods. In this context they are able to share learning through a market fair and presentations. Lessons learned are integrated into future project design. SCIAF/CST is a member of the CCRDA Food Security and Environment Forum and the Disaster Risk Management – Agricultural Task Force chaired by FAO in Ethiopia. The project will make use of opportunities that arise through our networks with governmental, national and international partners in Ethiopia to share the learning from the project. Internationally, SCIAF and our sister agencies are part of Caritas Internationalis, and members of the Caritas Europe development network, CIDSE, as well as the UK development NGO network BOND and the Scottish development NGO network NIDOS. Within our national contexts (Scotland/UK and Ireland) we have significant opportunities to influence governmental donors and dialogues. Reports from the project will be disseminated through these networks, and used to inform our future programming. SCIAF and our sister agencies have active learning and

advocacy interventions on climate change adaptation, and the project’s learning will be made available to them.

SECTION 6: EXPERIENCE/TRACK RECORD6.1 What is the value added of your organisation in delivering the proposed intervention? What is

your organisation’s track record in delivering similar interventions in similar contexts for a similar cost? Please include the details of the development results achieved. If your organisation has not delivered this type of intervention before, what learning/evidence underpins your proposal?

Value for Money: SCIAF will implement this project through CST. This unique structure, comprised of SCIAF, CAFOD and Trócaire (CST), provides value for money by pooling financial resources to reduce costs and strengthen economy, increasing efficiency by avoiding duplication and concentrating effort to increase impact, and ensuring effectiveness through technical collaboration, shared knowledge and experience in a single country programme.Value Added: SCIAF has 50 years of experience and knowledge in the delivery of development programmes to marginalised communities in Africa, Asia and Latin America.  Through CST, SCIAF have been working in Borana for the past 10 years on livelihoods and humanitarian projects and can add technical knowledge alongside experience. Experience: SCIAF, through CST, has been working in Borana zone on similar projects for over 10 years, thus the proposed project is based on learning, best practice, pilots and innovation within Borana zone. The evaluation (2009-2012) [1][1] of CST Livelihoods found that introducing relevant IGAs such as aloe vera soap making and SACCOs increased incomes by 25-35%. Increased potable c l e a n water access reduced time fetching water from 3 hours to 30 mins, significantly affecting women and children. A 2015 external evaluation report from the ‘TRADE’ (Towards Resilient And Diversified Economies) project funded by Comic Relief found that 43% of all SACCO members managed to diversify their livelihoods, and 59% of the members felt more resilient to shocks due to the income generated. Women in particular managed to diversify their HH incomes and gain control over HH expenditures resulting in increased school attendance. The IBLI livestock insurance paid compensation to 135 HHs for the loss of livestock in Moyale district as implemented by CIFA during 2013-4. Within Borana zone, existing traditional practices around rangeland management were examined by CST and ACORD, best practices were documented and sustainable and climate-smart ways of selective bush clearing were promoted. A ‘Rangeland Improvement and Rehabilitation Field Guide’ was published (Oct 2013). The use of community-based approaches and integration with traditional local systems were strongly promoted, such as the gadaa system (strong influential local pastoralist leaders) and busa ganofa (local social protection system in which HHs transfer assets to worse-off HHs) to reinforce traditional social protection mechanisms.  The EU-funded “Drought Recovery and Resilience Partnership Project (Borana)” Evaluation 2014, found that  “As a result of the implementation of the DRRPP project, milk yield per cow per day has increased from (0.32 to 1.12 litres) and livestock holding size among households has also increased. The project improved rangeland, water and livestock production and productivity. The project also saved the community from seasonal migration to other water and grazing areas and reduced school dropout. Cash transferred through CFW supported HHs to meet their food need, stabilised their livelihoods & contributed to early recovery. The physical and biological conservation facilitated by the project has reduced soil erosion (caused by wind and water) and increased grazing or forage for livestock.”

SECTION 7: PROJECT MANAGEMENT AND IMPLEMENTATION

[1][1] Evaluation of Sustainable Livelihood Programme - CST, Loyya Consults, February 2013.

7.1 PROJECT MANAGEMENTPlease outline the management arrangements for this project. This should include: A clear description of the roles and responsibilities of each of the partners. This should

refer to the separate project organogram, which is required as part of your proposal documentation.

An explanation of the human resources required (number of full-time equivalents, type, skills).

An explanation of how your organisation will manage the delivery of the project, including arrangements for managing delivery partners and how they will report to your organisation.

The project management structure is based on experience of implementing similar activities through SCIAF’s CST office. SCIAF has responsibility for overall project management, monitoring and achievement of outputs against the performance indicators in the logframe. In order to manage the project SCIAF will set up a Strategic Management Team in its Glasgow HQ that will meet regularly to oversee programme progress, provide technical support, respond to additional capacity support needs and recommend adjustments as necessary. The committee will include the Head of International Programmes, Programme Manager and Programme Officer for Ethiopia, International Financial Accountant, Co-finance Officer and representatives of the SCIAF Communications team as appropriate. Six-monthly progress review and annual project reports will be received from CST and reviewed by the team. The SCIAF Programme Manager and Officer will visit CST in Ethiopia and the project implementation sites at least twice a year for management meetings and field monitoring visits. SCIAF’s CST office team is responsible for the monitoring and reporting system, annual audit, mid-term and final evaluations, ensuring quality and timely reporting and programme implementation, for providing or organising technical support and partner capacity building. The partners CIFA and ACORD will be responsible for direct project implementation on the ground of project activities and grassroots-level monitoring, government relationships, reporting and data collection. At the country level CST will set up a Project Governance Steering Committee with implementing partners CIFA and ACORD to oversee project operation, discuss and guide project direction and ensure senior staff from all three organisations are fully involved, engaged in, and informed of project progress. The Project Governance Committee is the centre of project management and will support the project implementation and progress and act as a centre point for coordination of actions, information exchange and interaction with other partners. The committee will meet every 6 months to do an in-depth review of reports, workplans, finances and progress and draw up joint action plans for project coordination and implementation. CST staff will visit the UK annually for SCIAF-funded management meetings. The Livelihoods Programme Officer along with CIFA and ACORD field teams will establish a Project Team composed of management and technical field staff. CIFA and ACORD will be directly responsible for day-to-day management and implementation and supervision of the project activities in target areas. They will also facilitate the planning, implementation, monitoring and evaluation of project activities, provide technical support to community organisations and partner local government organisations together with SCIAF CST technical staff. Quarterly reports will be produced following the CST Programme Officer monitoring visits and review meetings in the field. Human resources: 21 partner staff will work on this project (4 full-time, 17 part-time) and are responsible for programme implementation. Partner staff are based in the target areas, have good relationships with communities, and have knowledge and experience of working with beneficiaries and relevant government departments. 7 CST staff will work directly with the project (all part-time). 3 SCIAF staff based in Glasgow will work on the project (part-time). SCIAF will provide management and capacity support to the project as detailed above, and will be the point of contact between DFID and the project.

7.2 NEW SYSTEMS, INFRASTRUCTURE, AND/OR STAFFINGPlease outline any new systems, infrastructure, and/or staffing that would be required to implement this project. Note that these need to be considered when discussing sustainability and project timeframes.

Existing staff and systems in SCIAF, CST, partner organisations, community and government will be used to implement the majority of the project. Some new systems will be created to manage the

project. SCIAF will set up a Strategic Management Team to oversee the project and ensure accountability to DFID. At country level, CST, CIFA and ACORD will set up a Project Governance Committee to oversee project operation, discuss and guide project direction and ensure senior staff from all three organisations are fully involved and informed of project progress. CIFA and ACORD will set up a Project Team to implement the project. The following new structures will be created to implement the project activities and promote sustainability: Output 1: 4 new CMDRR committees will be created and 7 existing CMDRR committees will be strengthened (CMDRR committees include an Early Warning Committee within them). 3 CMDRR centres will be constructed; Output 2: 11 Rangeland Management Committees and 21 WASH Committees will be created. 7 new water cisterns will be constructed. Output 3: 2 SACCOs, 1 SACCO union, 2 product/multipurpose cooperatives will be created, while 3 SACCOs will be strengthened. Each cooperative has its own sub-committees e.g. Management, Loan, Auditing etc. (See S3.7 & S3.8)

7.3 COLLABORATION AND COORDINATION WITH OTHER DEVELOPMENT ACTORSHow will you coordinate project implementation with other development actors and ensure no duplication of effort (including with other DFID funded activities)? How will you work with local/national government and private sector providers?

Collaboration with Government The implementation partners CIFA and ACORD are based in Borana zone and work closely with government offices at district and zone level who coordinate project implementation in their areas according to sector. The project will be presented to the government office for approval. At district level the following offices have been and will continue to be consulted: the Pastoral Areas Development Office, Water Resource Development Office, Health Office and District Administrations, Youth and Women Development Office and Cooperatives Development Offices. At zone level, the project will also work with Zone Departments of the each sector, the Ethiopian Institute of Agricultural Research (EIAR) and Oromiya Forestry Enterprise. These government institutions have the legal mandates and duties for the preparation of long, medium and short-term development plans, to set priorities and follow-up, and control the implementation of the proposed activities/interventions related to their sectors. Fit with national and regional plans In Borana the CRGE as part of the GTP has been translated into a regional-level document for operation by government levels in terms of woreda, zone and region. The proposed project contributes to the CRGE and therefore receives the relevant support for implementation and handing over at the end of the project. Complementing other initiatives The project will complement government projects such as the productive safety net programme (PSNP). The PSNP is a social security programme assisting the poorest households that are unable to meet their daily requirements to enter cash for work programmes. Similarly the project will complement the USAID-funded Pastoralist Areas Resilience Improvement through Market Expansion (PRIME) by working with SACCOs and Product Cooperatives to access markets and diversify their incomes. Overlap will be avoided and where possible integration of both projects will be encouraged.

SECTION 8: CAPACITY OF APPLICANT ORGANISATION AND ALL IMPLEMENTING PARTNER ORGANISATIONS (Max 3 pages each)Please copy and fill in this section for your organisation AND for each implementation partner8.1 Name of Organisation SCIAF

8.2 Address 19 Park Circus, Glasgow, G3 6BE, UK

8.3 Web Site www.sciaf.org.uk

8.4 Registration or charity number (if applicable)

Scottish Registered Charity Number: SC012302Company Number: SC197327

8.5 Annual Income Income (original currency): £7,486,925Income (£ equivalent): £7,486,925Exchange rate: n/a

Start/end date of accounts (dd/mm/yyyy)From: 01/01/14To: 31/12/14

8.6 Number of existing staff 50

8.7 Proposed project staffing staff to be employed under this project (specify the total full-time equivalents - FTE)

Existing staff Programme Manager (5%)Programme Officer (15%)International Financial Accountant (5%)(FTE 0.25)

New staff none

8.8 Organisation category (Select a maximum of two categories)

Non-Government Org. (NGO) x Local Government

Trade Union National Government

Faith-based Organisation (FBO) x Ethnic Minority Group or Organisation

Disabled Peoples’ Organisation (DPO) Diaspora Group or Organisation

Orgs. Working with Disabled People Academic Institution

Other... (please specify)

8.9 A) Summary of expected roles and responsibilities, ANDB) Amount (and percentage) of project budget which this partner will directly manage.

A): SCIAF, as the lead applicant working through its CST office in Ethiopia, will have overall responsibility for the management of the grant and for ensuring compliance with internal and donor requirements. SCIAF will oversee the contract negotiations and grant start-up process, and will ensure compliance with donor financial and narrative reporting requirements. SCIAF through CST will: prepare a monitoring, evaluation and learning framework; provide training on M&E and digital data collection; review six-monthly financial/narrative reports and provide appropriate feedback; provide technical support to CST to conduct baselines and evaluations, and submit reports etc. as per its contractual obligations to DFID. SCIAF’s Programme Officer will monitor project implementation via

email, phone & conference calls, reports, and field visits. She will review 6-monthly and annual progress reports and provide appropriate feedback, and assist with organisation and resourcing of digital data collection training workshops. SCIAF’s Programme Manager will provide overall management support, advise on strategic and policy issues, and advise/support the Programme Officer as necessary on issues and challenges which arise in the course of implementation. The International Financial Accountant will assist CST with budget preparation, review 6-monthly reports and annual audits, investigate variances against budget, and identify any proposed budget amendments in consultation with the CST, SCIAF Programme Officer and DFID. The SCIAF IFA will compile consolidated financial reports for submission to DFID, advise on the ToR and format of audit reports and provide guidance to ensure compliance with DFID’s contractual and IATI reporting requirements. SCIAF’s International Programmes Administrator (SCIAF-funded) will be responsible for ensuring that appropriate funding agreements are developed with CST and that funds are disbursed on schedule by SCIAF’s finance department. The above staff are all based in Glasgow. SCIAF in Ethiopia via CST will ensure quality implementation of the project by its implementation partners, provide accompaniment and strengthen partners’ project management, finance and technically capacities.B): £34,479 (3%)8.10 EXPERIENCE: Please outline this organisation's experience in relation to its roles and

responsibilities on this project (including technical issues and relevant geographical coverage). Please include details of any external evaluations of this organisation’s work (relevant to the proposed project) which have been completed and whether they are available.

With over 50 years’ experience in international development, SCIAF has progressively developed its capacity to effectively support and distance-manage projects and programmes at national and regional levels, often in complex situations. SCIAF currently works with over 60 local partners in 3 continents, with Sustainable Livelihoods as one of its 3 key strategic themes (the others being Education and Peace & Access to Justice). SCIAF specialises in supporting small to medium-sized local NGOs, focusing on partner capacity strengthening and investing in them long-term where appropriate to achieve maximum impact. SCIAF has worked in Ethiopia since 1985 and began direct cooperation with CAFOD and Trócaire and the sharing of an office, staff and resources in 2009. Joint responsibility and funding for the work in Ethiopia is formalised under an MoU signed by all 3 agencies. SCIAF currently supports development of sustainable livelihoods, including small-scale agriculture and microbusiness/microfinance in Ethiopia, Zambia, DRC, India, Cambodia, Haiti and Colombia.

8.11 FUND MANAGEMENT: Please provide a brief summary of this organisation's recent fund management history. Please include source of funds, purpose, amount and time period covered.

SCIAF has experience in managing a range of grants from a wide range of donors, from large institutional donors to smaller charitable trusts and foundations. SCIAF also receives a substantial proportion (70% on average in the period 2009-2013) of its income from the general public. Recent institutional grants include:Country Source Amount Project

PeriodPurpose

DRC, Malawi, Rwanda DFID UKAM 2 £1,667,460 2015-18 Support to small-scale farmers

DRC and Rwanda DFID GPAF Impact £323,972 2013-15 Improving women’s income, assets & food security

South Sudan DFID (CSCF) £470,120 2009-14 Capacity building for people with disabilities

DRC, Burundi, Rwanda EC £1,256,841 2010-13 Addressing sexual and gender-based violence

Colombia EC £688,592 2014-17 Strengthening Afro-

Colombian, Indigenous and Peasant Associations

South Sudan EC £761,853 2014-17 Supporting people with disabilities

Zambia/Burundi/Malawi Scottish Government

£1,431,775£1,367,682

2008-122012-15

Sustainable food production

Malawi Scottish Government –Climate Justice Grant

£499,606 2012-15 Sustainable water resource management

Malawi Scottish Government

£378,225 2013-16 Livelihoods and economic recovery

Rwanda Scottish Government

£473,213 2014 – 2016

Water for agricultural production

Cambodia Big Lottery Fund £351,905 2013-16 Integrated Community Development Project

El Salvador/Nicaragua Big Lottery Fund £499,995 2014-17 Agroecological-based food security

8.12 CHILD PROTECTION (for projects working with children and youth (0-18 years) only)How does this organisation ensure that children and young people are kept safe? Please describe any plans to improve the organisation's child protection policies and procedures for the implementation of this project.

SCIAF has a child protection policy in place which has been guided and informed by the following documents: 1) Awareness and Safety in Catholic Communities NOPCVA (2007) and other good practice guidelines for working with children in Scotland; 2) Caritas Internationalis Child Protection Framework; 3) UN Convention on the Rights of the Child (1989) Article 19; 4) CAFOD and Save the Children’s Child Protection Policies and Procedures. SCIAF has a Child Protection Advisory Group made up of representatives of the Senior Management Team and staff members from across the organisation with relevant expertise and experience in child protection/vulnerable adult issues. This Advisory Group meets on a quarterly basis and is responsible for reviewing the child protection policy and conducting training for SCIAF’s entire staff on an annual basis.

8.13 FRAUD: Has there been any incidence of any fraudulent activity in this organisation within the last 5 years? How was the fraud detected? What action did your organisation take in response? How will you minimise the risk of fraudulent activity occurring?

There has been no fraudulent activity in the organisation. SCIAF is audited annually and changes audit firm every few years. Partners are required to submit quarterly financial reports and an annual audit report, which are reviewed by the relevant Programme Officer and the IFA. SCIAF has developed a detailed financial checklist which is completed by the Programme Officer during field visits following review of the project’s financial procedures and records and subsequently submitted for review to SCIAF’s Head of Finance and Head of International Programmes.

8.14 DUE DILIGENCE: Please provide brief details of any due diligence assessments of the organisation conducted on behalf of DFID or other donors within the past 5 years. Please include date, organisation responsible for the assessment, brief comments, and a link to the assessment, if available.

KPMG conducted a full pre-grant due diligence assessment of SCIAF on behalf of DFID in November 2011 in relation to a provisionally approved GPAF Impact grant for Ethiopia, followed by an update memorandum in July/August 2012 for a current GPAF Impact Grant (GPAF-IMP-067). In relation to GPAF-IMP-067, SCIAF’s Senior Management Team sent a formal management response to the recommendations of the due diligence report on 30 April 2014 and subsequently received confirmation from DFID that all of the recommendations have been met. In October 2015 SCIAF also

passed a ‘light’ due diligence assessment for a DFID UK Aid Match Round 2 project.

SECTION 8: CAPACITY OF APPLICANT ORGANISATION AND ALL IMPLEMENTING PARTNER ORGANISATIONS (Max 3 pages each)Please copy and fill in this section for your organisation AND for each implementation partner8.1 Name of Organisation CST – Working Together in Ethiopia

8.2 Address PO Box 1875, ECBC Centre, Gulele, Addis Ababa, Ethiopia

8.3 Web Site www.sciaf.org.uk

8.4 Registration or charity number (if applicable)

n/a

8.5 Annual Income Income (original currency): ETB 101,639,538.00Income (£ equivalent): £ 3,140,400Exchange rate: 1£ = 31.65Start/end date of accounts (dd/mm/yyyy)From: 1/1/2014To: 31/12/2014

8.6 Number of existing staff 24

8.7 Proposed project staffing staff to be employed under this project (specify the total full-time equivalents - FTE)

Existing staff 1.6

New staff 0

8.8 Organisation category (Select a maximum of two categories)

Non-Government Org. (NGO) x Local Government

Trade Union National Government

Faith-based Organisation (FBO) x Ethnic Minority Group or Organisation

Disabled Peoples’ Organisation (DPO) Diaspora Group or Organisation

Orgs. Working with Disabled People Academic Institution

Other... (please specify)

8.9 A) Summary of expected roles and responsibilities, ANDB) Amount (and percentage) of project budget which this partner will directly manage.

A): SCIAF through CST as the lead applicant will have a coordinating role, with responsibility for the procurement plan, harmonisation of approaches, implementation of the baseline survey, evaluations, initiation of reviews and studies, and dissemination of materials. CST will also manage cross-cutting issues and ensure that child protection, accountability, gender, and HIV and AIDS will be mainstreamed. The learning from the project will be identified, together with partners, to link to a wider policy network at regional and national level. At organisational level, CST will provide the required support to partners to implement the project efficiently and effectively based on capacity assessments.B): £209,875 (17%). SCIAF will be responsible for making transfers to the partners based on signed contract agreement.

8.10 EXPERIENCE: Please outline this organisation's experience in relation to its roles and responsibilities on this project (including technical issues and relevant geographical coverage). Please include details of any external evaluations of this organisation’s work (relevant to the proposed project) which have been completed and whether they are available.

Trócaire and CAFOD opened a joint office in Ethiopia in 2000; SCIAF joined in 2009. A memorandum of understanding has been signed between all agencies. The first livelihoods programme was developed and implemented during the period 2006 – 2009, the second cycle covered the period 2009-2013, and the third and current cycle covers 2013-2018. Each cycle is evaluated at the end by an external consultant, with the evaluation then serving as an input for the following phase. A number of evaluations have been done on CST’s work in Ethiopia including a final evaluation of the ‘Sustainable Livelihoods Programme 2009-2012’, a final evaluation of the Big Lottery funded ‘Natural Resources Conservation and Livelihoods Innovation in Maizegzeg’ with ADCS, the final evaluation of the EU-funded ‘Promotion of Innovative Livelihoods in Hintalo-Wajerat and Adua Woredas of Tigray Region, Ethiopia’ with REST, the final evaluation of the EU-funded ‘Building Resilient Pastoralist communities’ with 5 local partners, the final evaluation of the EU-funded ‘Drought Recovery and Resilience Partnership’ with 4 local partners, and a final evaluation of the Comic Relief funded ‘Towards a Resilient and Diverse Economy’ project with 2 local partners. All are available on request.

8.11 FUND MANAGEMENT: Please provide a brief summary of this organisation's recent fund management history. Please include source of funds, purpose, amount and time period covered.

CST has experience in managing a range of grants for a number of donors including the EU, DFID, Comic Relief, The Big Lottery Fund, UNOCHA and a number of smaller trusts and foundations. Included are examples of funds managed by CST:Project Source Amount Project

PeriodPurpose

Building Resilient Pastoralist communities

EU €2,495,923 2009-2012

NRM, Diversifying Incomes, CMDRR, Value Chain, learning

Drought Recovery and Resilience Partnership

EU €2,322,561 2012-2014

NRM, Diversifying Incomes, learning

Towards a Resilient and Diverse Economy (TRADE)

Comic Relief £954,323 2011-2015

Income diversification

Women in Self Help DFID/March Fund II

£299,857 2012-2015

Income diversification

Livelihoods Programme Canadian Development and Peace

£198,120 2014-2015

NRM, income diversification, water supply.

Civil Society Development Programme

Canadian Development and Peace

£175,749 2014-2015

Gender, peace-building and networking

Prevention of PMTCT ViiV-PACF £300,000 2014-2016

HIV,PMTCT

Sustainable Livelihoods in Burji BIG – Big Lottery Fund

£413,983 2014-2017

NRM, crop and livestock production, incomes

Nutrition Support to Diocese of Hossana

Irish Aid €455,442 2015-2016

Nutrition and livelihoods

Capacity building of local humanitarian NGOs

START network (DFID)

£736,156 2015-2017

Capacity building, M&E, networking

Borana emergency support project UNOCHA US$300,000

2015 Cash for work, veterinary services

Climate Change Adaptation and Disaster Resilience in Rural Communities of Northern Ethiopia

UK AID £2,045,354 2015-2018

Climate change, watershed management, diversifying incomes, learning

8.12 CHILD PROTECTION (for projects working with children and youth (0-18 years) only)How does this organisation ensure that children and young people are kept safe? Please describe any plans to improve the organisation's child protection policies and procedures for the implementation of this project.

CST has an up-to-date Child Protection Policy in place which is rolled out to the partners. The contracts signed with partners include a clause referring to the UN Convention on the Rights of the Child and the UN Secretary-General’s Bulletin on protection from sexual exploitation and abuse (PSEA) (ST/SGB/2003/13): http://www.un.org/en/pseataskforce/tools.shtml. Partners are obliged to notify CST if there is any complaint in relation to child abuse. Lack of adherence to the clause is a breach of contract. The organisation’s child protection policy is part of all staff contracts and all employees are given a full induction on the child protection policy during their probation period. In January 2015 CST rolled out child protection Training of Trainers to staff and partner organisations to ensure effective roll out of policies.

8.13 FRAUD: Has there been any incidence of any fraudulent activity in this organisation within the last 5 years? How was the fraud detected? What action did your organisation take in response? How will you minimise the risk of fraudulent activity occurring?

No. In CST we use the CAFOD fraud, anti-bribery, whistle-blowing and bribery policies. CST includes a number of clauses in the partner agreement linked to fraud, bribery and funding of terrorism. Partners are obliged to inform CST of actual or potential fraud and there is a zero tolerance policy towards bribery. CST uses the Trócaire Partner Governance policy and works with partners to continually strengthen their systems.

8.14 DUE DILIGENCE: Please provide brief details of any due diligence assessments of the organisation conducted on behalf of DFID or other donors within the past 5 years. Please include date, organisation responsible for the assessment, brief comments, and a link to the assessment, if available.

For a 2012 GPAF Impact grant which would have been managed by CST, DFID conducted a full due diligence assessment on SCIAF which included interviewing and reviewing all the CST office’s systems and procedures. SCIAF passed the due diligence assessment. DFID identified a few areas for improvement in terms of SCIAF governance and these have been addressed. For a DEC grant via CAFOD, CST was part of the DECAF in 2014. CST addressed the recommendations. For a Round 3 UK Aid Match grant via Trócaire, CST passed a light due diligence check.

SECTION 8: CAPACITY OF APPLICANT ORGANISATION AND ALL IMPLEMENTING PARTNER ORGANISATIONS(Max 3 pages each)Please copy and fill in this section for your organisation AND for each implementation partner8.1 Name of Organisation Community Initiative Facilitation and Assistance (CIFA)

8.2 Address P. O Box 138, Moyale, Ethiopia

8.3 Web Site www.cifaethiopia.org

8.4 Registration or charity number (if applicable)

Registered with Federal Charities and Societies Agency - certificate number 1012.

8.5 Annual Income Income (original currency): TBCIncome (£ equivalent): TBCExchange rate: TBC

Start/end date of accounts (dd/mm/yyyy)From: 01/01/2015To: 31/12/2015

8.6 Number of existing staff 28

8.7 Proposed project staffing staff to be employed under this project (specify the total full-time equivalents - FTE)

Existing staff 3.5 FTE

New staff 5 FTE

8.8 Organisation category (Select a maximum of two categories)

Non-Government Org. (NGO) Local Government

Trade Union National Government

Faith-based Organisation (FBO) Ethnic Minority Group or Organisation

Disabled Peoples’ Organisation (DPO) Diaspora Group or Organisation

Orgs.Working with Disabled People Academic Institution

Other... (please specify)

8.9 A) Summary of expected roles and responsibilities, ANDB) Amount (and percentage) of project budget which this partner will directly manage.

A): CIFA’s main office is based in Moyale town and they will be responsible for the delivery of the project in 8 districts of Moyale and Miyo districts. If the proposal is approved, CIFA will be responsible for signing an agreement with the regional government and for maintaining good relationships with the government at regional, zonal, district and PA levels. The government will be included at a technical level concerning CMDRR, water constructions and maintenance, rangeland rehabilitation, livestock health, SACCOs and SACCO unions. CIFA will take the lead within the consortium on SACCOs and IBLI, and will be responsible for facilitating the coordination of implementation and the exchange of learning and best practice on these two thematic areas.B): £575,561 (48%).8.10 EXPERIENCE: Please outline this organisation's experience in relation to its roles and

responsibilities on this project (including technical issues and relevant geographical coverage).

Please include details of any external evaluations of this organisation’s work (relevant to the proposed project) which have been completed and whether they are available.

CIFA has been implementing development and humanitarian interventions in Borana zone for more than 7 years, and has always employed a strategy of linking humanitarian interventions to development. It has experience of implementing programmes with cross-border dimensions and linkages and of applying international standards, including LEGS, SPHERE, GEG, and HAP International, as appropriate in project design and implementation.8.11 FUND MANAGEMENT: Please provide a brief summary of this organisation's recent fund

management history. Please include source of funds, purpose, amount and time period covered.

The annual budget of CIFA accounts for more than ETB 7M (GBP 200,000) for a single project up to ETB 18M (GBP 500,000) per annum in three districts.CIFA financial management is conform the Government of Ethiopia’s CSO policy regulations of 70-30 which stipulate that administrative costs must not exceed 30% of a total project budget. All CIFA budgets comply within the government regulations. Moreover, project funds are allocated in accordance with the identified needs of the community, verified by needs assessments or baseline surveys.CIFA Ethiopia has been implementing development and humanitarian interventions in Borana zone for the last 8 years. In the interventions CIFA has been linking humanitarian interventions to development.

8.12 CHILD PROTECTION (for projects working with children and youth (0-18 years) only)How does this organisation ensure that children and young people are kept safe? Please describe any plans to improve the organisation's child protection policies and procedures for the implementation of this project.

CIFA is very committed to conducting its programme in a manner that is safe for the children we serve and to helping protect them. As a humanitarian agency, we believe that all children have the right to live free of the fear or reality of any form of abuse or exploitation, and we are obliged to create and maintain an environment that aims to prevent these circumstances and promotes the

No Date Project Name Amount ETB/EURO/USD/GBP

Donor Funding Source

1 1st Dec 2011-31st May 2012

SHO 246,639 EURO Cordaid Cordaid

2 1st March 2010 –Dec 2011

Building Resilient Pastoralist Communities

250,808 EURO Trocaire/Cordaid

EU

3 1st Jan-2012-30th June 2013

Cross Border Drought Risk Reduction Program

3,433,144 (ETB) Cordaid ECHO

4 1st Jan-2012-30th June 2013

Drought Emergency Committee (DEC)

7,944,657.91(ETB) Trocaire DEC (UK)

5 1st Jan-30th

April 2013Response to Conflict Emergency

1,992,053(ETB)

Trocaire Trocaire

6 1st January 2014 – 31st

Dec 2014

Supporting Resilience in Emergency-Prone Areas of Borana Zone, Oromia Region, Ethiopia

7,421,191 ETB Cordaid ECHO

7 1st July – Oct 15 2015

Humanitarian response project in Borana zone

US$ 137,105 Trocaire UNOCHA

8 1st Nov 2013 – Oct 2016

IBLI 150,000 GBP Trocaire Trocaire

9 1st Feb 2014 – 31st Jan 2017

CMDRR 120,000 GBP CD&P SCIAF

implementation of child safety. Through the IBLI education and sensitisations work, communities are informed about the importance of sending children to school. CIFA staff received training on child protection in early 2015 through a one-week workshop carried out by CST.8.13 FRAUD: Has there been any incidence of any fraudulent activity in this organisation within the

last 5 years? How was the fraud detected? What action did your organisation take in response? How will you minimise the risk of fraudulent activity occurring?

Since registration, there has never been any incidence of fraud.8.14 DUE DILIGENCE: Please provide brief details of any due diligence assessments of the

organisation conducted on behalf of DFID or other donors within the past 5 years. Please include date, organisation responsible for the assessment, brief comments, and a link to the assessment, if available.

CST carries out a pre-assessment of activities before deciding to work with a particular partner. In 2013 and 2014 CIFA fulfilled the minimum standards in relation to governance structure, legal registration, financial management and commitment to child protection, accountability & stewardship.CST will support CIFA to strengthen their due diligence. The CST Programme Accountant will support and monitor the financial systems, financial budgeting and reporting by the partners involved in implementing the UK Aid Match project. The ledger of each partner will be linked to the financial report, and organisational procurement manuals will be applied to effect procurements starting with a procurement plan. Supporting documentation will be filed properly. Monthly financial reports will be produced and will provide the information required for management decisions e.g. highlighting under or overspends, preparing monthly/quarterly forecasts. A system to stamp financial documents to all CST-funded projects that will be rolled out during quarterly visits.In 2014, Trócaire developed and rolled out its Partner Financial Management Tracking Tool, which provides oversight for Country Management Teams (CMTs) on financial management issues related to partner organisations. It covers five areas:

1. Financial Monitoring Visits2. Partner Financial Reporting3. Minimum Requirements4. Partner Financial Management Capacity Assessments, and5. Partner External Audits.

It is maintained by the Finance and Administration Manager (FAM) and reviewed by the Senior Management Team on a quarterly basis

SECTION 8: CAPACITY OF APPLICANT ORGANISATION AND ALL IMPLEMENTING PARTNER ORGANISATIONS (Max 3 pages each)Please copy and fill in this section for your organisation AND for each implementation partner8.1 Name of Organisation Agency for Cooperation and Research in Development

(ACORD)

8.2 Address P.O. Box 12377, Bole Road, Addis Ababa, Ethiopia

8.3 Web Site www.acordinternational.org

8.4 Registration or charity number (if applicable)

0639

8.5 Annual Income Income (original currency): ETB 24,936,661Income (£ equivalent): 804,408.00Exchange rate: 1 GBP = 31 ETB

Start/end date of accounts (dd/mm/yyyy)From:01/01/2015To: 31/12/2015

8.6 Number of existing staff 32

8.7 Proposed project staffing staff to be employed under this project (specify the total full-time equivalents - FTE)

Existing staff 4.6 FTE

New staff 4 FTE

8.8 Organisation category (Select a maximum of two categories)

Non-Government Org. (NGO) X Local Government

Trade Union National Government

Faith-based Organisation (FBO) Ethnic Minority Group or Organisation

Disabled Peoples’ Organisation (DPO) Diaspora Group or Organisation

Orgs. Working with Disabled People Academic Institution

Other... (please specify)

8.9 A) Summary of expected roles and responsibilities, ANDB) Amount (and percentage) of project budget which this partner will directly manage.

A): ACORD’s main office is based in Addis Ababa with a branch office in Dire district. ACORD will be responsible for the delivery of the project in 3 PAs of this district. If the proposal is approved, ACORD will be responsible for signing an agreement with the regional government and for maintaining good relationships with the government at regional, zonal, district and PA levels. The government will be included at a technical level concerning CMDRR, water constructions and maintenance, rangeland rehabilitation, SACCOs and IGAs. ACORD will take the lead within the consortium on CMDRR and Natural Resource management, and will therefore be responsible for facilitating the coordination of implementation as well as the exchange of learning and best practices on these two thematic areas. ACORD has rich expertise in the two areas as shown in the previous EU-funded Drought Recovery and Resilience Partnership led by Trócaire and Partners for Resilience (PfR) led by CORDAID. Informed by the good practices learned from these consortia projects, ACORD will lead and support CIFA in effective implementation.

B): £393,442 (32%).8.10 EXPERIENCE: Please outline this organisation's experience and track record in relation to its

roles and responsibilities on this project (including technical issues and relevant geographical coverage). What development results have this organisation achieved which is relevant to this proposal (i.e. for similar interventions in similar contexts for a similar cost)? Please include details of any external evaluations of this organisation’s work (relevant to the proposed project) which have been completed and whether they are available.

In this project, ACORD will lead the consortium on CMDRR and natural resource management due to their experience gained since 2007 in Borana Zone, Dire & Miyo districts. The organisation also has good expertise in building community-based organisations (CMDRR) who take the lead, identify and solve their problems by themselves. Moreover, the innovative conservation-based livelihood enhancement drip irrigation and aloe soap income generation activities are non-traditional livelihood diversification options which ACORD is pioneering in its support to pastoralists, agro-pastoralists and drop-out pastoralists. The lessons learned have served as best practice in designing this project.Government mid-term and final evaluations of similar projects undertaken to date document ACORD’s community driven and impactful resilience building initiatives, and serve as learning documents. ACORD’s contribution to poverty reduction is well recognised by the government.8.11 FUND MANAGEMENT: Please provide a brief summary of this organisation's recent fund

management history. Please include source of funds, purpose, amount and time period covered.

Over the last three years (2012-2014), ACORD managed to fund its projects and programmes with an average of GBP 804,408 per year. Funds have been used properly in accordance with project design, organisation and donor requirements. Funds were managed effectively respecting the CSO law (70/30) protocol.

Table1: fund sources and their budgetS/N Sources of funds Purpose Fund size (euro) & Time period

2012 2013 20141 CST CMDRR 487,176 486,176 159,8752 CORDAID CMDRR 283,333 283,333 283,3333 CCFD Urban

livelihood90,000 90,000 90,000

4 Samaritans Austria CMDRR/ NRM

61,500 61,500

5 Comic Relief Urban Livelihood

293,738 293,738

6 DCA Gender capacity building

113,906

7 Secretariat 50,000 75,000 50,000 Total 910,509 1,289,747 1,052,352

8.12 CHILD PROTECTION (for projects working with children and youth (0-18 years) only)How does this organisation ensure that children and young people are kept safe? Please describe any plans to improve the organisation's child protection policies and procedures for the implementation of this project.

ACORD will prevent harm by making sure that children are adequately supervised and protected at all times. Children will not be put in danger or exposed to abuse or exploitation. Moreover, the project will assess all possible risks in working with children, especially in activities that involve time spent away from home. CST provided child protection training to ACORD in early 2015, and they in turn have cascaded this training on child protection to all staff.8.13 FRAUD: Has there been any incidence of any fraudulent activity in this organisation within the

last 5 years? How was the fraud detected? What action did your organisation take in response? How will you minimise the risk of fraudulent activity occurring?

There has been no such incidence within the last five years.8.14 DUE DILIGENCE: Please provide brief details of any due diligence assessments of the

organisation conducted on behalf of DFID or other donors within the past 5 years. Please include date, organisation responsible for the assessment, brief comments, and a link to the assessment, if available.

The organisation is using Generally Accepted Accounting Principles which are globally accepted in financial management. ACORD uses Sun Systems financial software for budgeting, recording and reporting. Moreover, there is an organisational internal control system that checks and balances the organisation’s proper use of financial and material resources. Internal control documents covering procurement, operations, and HR help to manage any possible risks.There is also a clear budget approval process that gives the opportunity to check and balance the risks that might arise in the course of financial disbursements.CST carries out a pre-assessment of activities before deciding to work with a particular partner. In 2013 and 2014 ACORD fulfilled the minimum standards in relation to governance structure, legal registration, financial management and commitment to child protection, accountability & stewardship.CST will support ACORD to strengthen their due diligence.The CST Programme Accountant will support and monitor the financial systems, financial budgeting and reporting by the partners involved in implementing the UK Aid Match project. The ledger of each partner will be linked to the financial report, and organisational procurement manuals will be applied to effect procurements starting with a procurement plan. Supporting documentation will be filed properly. Monthly financial reports will be produced and will provide the information required for management decisions e.g. highlighting under or overspends, preparing monthly/quarterly forecasts. A system to stamp financial documents to all CST-funded projects that will be rolled out during quarterly visits.In 2014, Trócaire developed and rolled out its Partner Financial Management Tracking Tool, which provides oversight for Country Management Teams (CMTs) on financial management issues related to partner organisations. It covers five areas:

1. Financial Monitoring Visits2. Partner Financial Reporting3. Minimum Requirements4. Partner Financial Management Capacity Assessments, and5. Partner External Audits.

It is maintained by the Finance and Administration Manager (FAM) and reviewed by the Senior Management Team on a quarterly basis

SECTION 9: CHECKLIST OF PROPOSAL DOCUMENTATIONPlease check boxes for each of the documents you are submitting with this form.All documents must be submitted by e-mail to:ukaidmatch@dfid.gov.uk

Mandatory Items CheckY/N

Proposal form (sections 1-7) Y

Proposal form (section 8 - for applicant organisation and each partner or consortium member)

Y

Project Logframe Y

Project Budget (with detailed budget notes) Y

Risk register/matrix Y

Project organisational chart / organogram Y

Communications Plan - 2 documents: C1 (communication plan form) and C2 (communications activity timetable)

Y

Written evidence of confirmed appeal communications partnership(s), e.g. an email or letter

Y

Updated November 2015